Antony Edward Lea

Last updated
2 weeks ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Fox Whittle Financial Management Ltd

    FRN 500906

    • SMF3 Executive Director (since 8 Nov 2023)
    • SMF1 Chief Executive (since 8 Nov 2023)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 8 Nov 2023)
  • HCL BANK HOUSE FINANCIAL SERVICES LIMITED

    FRN 400529

    • 4. Giving personal recommendations on retail investment products which are not broker funds
    • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • SMF1 Chief Executive (since 9 Dec 2019)
    • Responsibility for MCD Intermediation (21 Mar 2016 to 25 Jul 2023)
    • CF30 Customer (10 Jan 2008 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (6 Jul 2004 to 8 Dec 2019)
    • CF3 Chief Executive (6 Jul 2004 to 8 Dec 2019)
    • CF8 Apportionment and Oversight (6 Jul 2004 to 31 Mar 2009)
    • CF1 Director (6 Jul 2004 to 8 Dec 2019)
    • CF10 Compliance Oversight (6 Jul 2004 to 22 Jan 2009)
    • CF21 Investment Adviser (6 Jul 2004 to 30 Dec 2005)

Recent activity

Updates to this individual's record on the FCA register.

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